Set the objectives of the investigation

Generally, an investigation will establish the facts to decide whether you need to take disciplinary action against one or more employees. Another purpose may be to assess the likelihood of a claim being made against you or to find out whether you need to notify any public and/or regulatory authorities.

You must carefully consider which purpose should take precedence. If, for example, the employee’s cooperation would be essential in dealing with the regulator or in defending third-party claims, you may decide not to dismiss the employee at an early stage.

If you are a regulated organisation, regulatory and disciplinary purposes are both likely to be relevant. If there are regulatory concerns, these are likely to take precedence as they may impact upon your ability to carry on business. The organisation may therefore have to put this above its position in relation to a particular employee.